Archive of older proposed rules currently available on site. We encourage the public to submit comments on proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:
| Release No. |
Date |
Details |
| Fourth Quarter |
| IA-1601 |
Dec. 20, 1996 |
Proposed Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940
File No.: S7-31-96
Comments received electronically are available for this proposal.
(Note: Form ADV-T can be obtained from our Public Reference Room; call 202-942-8090) |
| IC-22405 |
Dec. 18, 1996 |
Proposed Rule: Private Investment Companies
File No.: S7-30-96
Comments Due: February 10, 1997
Comments received electronically are available for this proposal. |
| 33-7371 |
Dec. 10, 1996 |
Proposed Rule: Technical Revisions to the Rules and Forms Regulating Money Market Funds (Rule 2a-7)
File No.: S7-29-96
Comments Due: January 24, 1997
Comments received electronically are available for this proposal. |
| 33-7369 |
Dec. 6, 1996 |
Proposed Rule: Rulemaking for the EDGAR System
File No.: S7-28-96
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-37850 |
Oct. 22, 1996 |
Proposed Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-27-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7356 |
Oct. 10, 1996 |
Proposed Rule: Offshore Press Conference, Meetings with Company RepresentativesConducted Offshore, and Press-Related Materials Released Offshore
File No.: S7-26-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| Third Quarter |
| IC-22203 |
Sep. 10, 1996 |
Proposed Rule: Rule Amendments Relating to Multiple Class and Series Investment Companies (TEXT REVISED 9-16-96)
File No.: S7-24-96
Comments Due: 60 days after publication in the Federal Register |
| 33-7326 |
Aug. 30, 1996 |
Proposed Rule: Expansion of Short-Form Registration to Include Companies withNon-voting Common Equity
File No.: S7-23-96
Comments Due: 30 days after publication in the Federal Register |
| 34-37620 |
Aug. 29, 1996 |
Proposed Amendment to Rule 11Ac1-1
File No.: S7-22-96
Comments Due: 60 days after publication inthe Federal Register |
| 34-37595 |
Aug. 22, 1996 |
Proposed Rule: Lost Securityholders
File No.: S7-21-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-37594 |
Aug. 22, 1996 |
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
File No.: S7-20-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 34-37432 |
Jul. 12, 1996 |
Proposed Rule: Broker-Dealer Registration and Reporting
File No.: S7-17-96
Comments Due: 30 days after publication in the Federal Register |
| 34-37403 |
Jul. 5, 1996 |
Reproposed Rules: Amendments to Beneficial Ownership Reporting Requirements
File No.: S7-16-96
Comments Due: 60 days after publication in the Federal Register
File name REVISED 7-16-96 |
| Second Quarter |
| 33-7301 |
May 31, 1996 |
Proposed Rule: Phase Two Recommendations of Task Force on Disclosure Simplification
File No.: S7-15-96
Comments Due: 45 days after publicationin the Federal Register
Comments received electronically are available for this proposal. |
| 33-7283 |
Apr. 19, 1996 |
Proposed Rule: Odd-Lot Tender Offers by Issuers
File No.: S7-12-96
Comments Due: 30 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7282 |
Apr. 11, 1996 |
Proposed Rule: Trading Practices Rules Concerning Securities Offerings
File No.: S7-11-96
Comments Due: 60 days after publication in the Federal Register
Comments received electronically are available for this proposal. |
| 33-7281 |
Apr. 9, 1996 |
Extension of Comment Period: Proposed Amendments to RequireDisclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
File No.: S7-35-95
Comments Due: May 20, 1996 |
| 33-7280 |
Apr. 9, 1996 |
Proposed Rule: Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instrument, Other Financial Instruments, and Derivative Commodity Instruments
File No.: S7-10-96
Comments Due: May 20, 1996 |
| First Quarter |
| IC-21838 |
Mar. 21, 1996 |
Proposed Rule: Exemption for the Acquisition of Securities During the Existence of an Underwriting
File No.: S7-7-96
Comments Due: June 3, 1996 |
| 34-36980 |
Mar. 15, 1996 |
Notice of Filing of Proposed Rule Change by the NASD Relating to Regulating the Conduct of Broker/Dealers Operating on the Premises of a Financial Institution
File No.: SR-NASD-95-63 |
| 34-36720 |
Jan. 16, 1996 |
Proposed Rule/Extension of Comment Period: NAqcess System
Reference: Rel. No. 34-36718
File No.: SR-NASD-95-42
Comments Due: January 26, 1996 |
| 33-7253 |
Jan. 11, 1996 |
Calculation of Yield by Unit Investment Trusts: Proposed amendments to rules and forms; extension of comment period
File No.: S7-32-95
Comments Due: March 29, 1996 |
